CC
Christopher D. Clark
ROYCE FUND SERVICES
NEW YORK, NY 10010
Some features on this profile are disabled
CRD#: 1735713
CC
Professional summary
Christopher Dewitt Clark is a registered financial professional currently at ROYCE FUND SERVICES, LLC located in New York, New York.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 1990. Christopher has worked at 3 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 3 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Christopher Dewitt Clark's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 21, 2007 - Present
ROYCE FUND SERVICES, LLC
Office #1: One Madison Avenue 17th Floor, New York, NY 10010Office #2: One Madison Avenue 17th Floor, New York, NY 10010BD
CRD#: 14470
NEW YORK, NY
Past
October 16, 1991 - July 5, 2001
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
July 25, 1990 - January 11, 1991
DISCOUNT CORPORATION OF NEW YORK
BD
CRD#: 19757
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/21/2022)
RR
Alaska(10/21/2022)
RR
Arizona(10/19/2022)
RR
Arkansas(10/21/2022)
RR
California(10/21/2022)
RR
Colorado(10/4/2022)
RR
Connecticut(10/5/2022)
RR
Delaware(10/21/2022)
RR
District of Columbia(10/4/2022)
RR
Florida(10/4/2022)
RR
Georgia(10/21/2022)
RR
Hawaii(10/21/2022)
RR
Idaho(10/4/2022)
RR
Illinois(10/21/2022)
RR
Indiana(10/21/2022)
RR
Iowa(10/21/2022)
RR
Kansas(10/21/2022)
RR
Kentucky(10/21/2022)
RR
Louisiana(10/4/2022)
RR
Maine(10/21/2022)
RR
Maryland(10/4/2022)
RR
Massachusetts(10/21/2022)
RR
Michigan(10/21/2022)
RR
Minnesota(10/21/2022)
RR
Mississippi(10/21/2022)
RR
Missouri(10/21/2022)
RR
Montana(10/21/2022)
RR
Nebraska(10/21/2022)
RR
Nevada(10/21/2022)
RR
New Hampshire(10/21/2022)
RR
New Jersey(10/21/2022)
RR
New Mexico(10/21/2022)
RR
New York(10/21/2022)
RR
North Carolina(10/21/2022)
RR
North Dakota(10/21/2022)
RR
Ohio(10/23/2022)
RR
Oklahoma(10/21/2022)
RR
Oregon(10/21/2022)
RR
Pennsylvania(10/21/2022)
RR
Puerto Rico(10/4/2022)
RR
Rhode Island(10/21/2022)
RR
South Carolina(10/21/2022)
RR
South Dakota(10/21/2022)
RR
Tennessee(10/21/2022)
RR
Texas(10/21/2022)
RR
Utah(10/21/2022)
RR
Vermont(10/21/2022)
RR
Virgin Islands(10/21/2022)
RR
Virginia(10/21/2022)
RR
Washington(10/21/2022)
RR
West Virginia(10/21/2022)
RR
Wisconsin(10/21/2022)
RR
Wyoming(10/21/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
RF
ROYCE FUND SERVICES, LLC
QUEST DISTRIBUTORS, INC. | ROYCE FUND SERVICES, LLC | ROYCE FUND SERVICES, INC. | QUEST SECURITIES,INC.
CRD#: 14470 / SEC#: , 8-28663
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
One Madison Avenue 17th Floor, New York, NY 10010
Mailing Address
One Madison Avenue 17th Floor, New York, NY 10010
Phone number
(212) 508-4500
Established
Delaware since 02/24/2017
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROYCE & ASSOCIATES, LP | MEMBER | |
| CLARK, CHRISTOPHER DEWITT | PRESIDENT, SUPERVISORY PRINCIPAL | 1735713 |
| DENNEEN, JOHN EDWARD | SECRETARY, GENERAL COUNSEL | 4324430 |
| GANNON, FRANCIS DOYLE | VICE PRESIDENT | 2420802 |
| PALASITS, THOMAS R | TREASURER, FINANCIAL & OPERATIONS PRINCIPAL | 1675575 |
| WILSON, DAVID BERTRAND | CHIEF COMPLIANCE OFFICER | 5780721 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
